SEC Risk Alert Focuses on MNPI and Code of Ethics Compliance Issues
The SEC has issued a risk alert on MNPI and Codes of Ethics.
April 28, 2022
Tags: Code of Ethics, MNPI, SEC Examinations
Milestone Anniversaries and New Faces at the IAA
Please join us in congratulating several employees for work anniversaries and welcoming two new staff members.
April 28, 2022
Tags: Karen Barr, Neil Simon
Making ESG a Priority for Small-Caps
Active management plays a critical role in evaluating a company’s ESG practices. And with investor interest in ESG skyrocketing — Morningstar found that total investment in sustainable funds was up...
April 27, 2022
Removing Active Management Biases
Basing your investing strategy and performance scorecard on whether a mutual fund beats its benchmark is “irrational” according to a new piece in The Mutual Fund Observer by author David...
April 21, 2022
IAA Advocacy on SEC Rulemaking
The IAA submitted comments to the SEC on three major rule proposals affecting investment advisers – cybersecurity, beneficial ownership, and T+1 settlement.
April 15, 2022
Tags: Advocacy, Cybersecurity, SEC, Securities Settlement Cycle
Jaime Lizárraga and Mark Uyeda have been nominated to fill the two SEC commissioner vacancies.
April 08, 2022
Tags: SEC, SEC Appointments
SEC Releases Proposed Rules for Special Purpose Acquisition Companies
SEC proposal will treat SPACs more like traditional IPOs.
April 08, 2022
IAA, Other Trade Associations Urge SEC to Lengthen Short Comment Periods
The IAA and other trade associations urge the SEC to provide more time to comment on the many concurrent and consequential rule proposals to allow for more thorough and meaningful feedback.
April 06, 2022
Tags: Advocacy, Gary Gensler, SEC
Massachusetts Court Invalidates State’s Fiduciary Duty Rule
Massachusetts court declares the Massachusetts fiduciary duty rule invalid.
April 06, 2022
Tags: Fiduciary Duty, Massachusetts, Reg BI, SEC, State Laws
SEC Publishes Examination Priorities for 2022
The SEC’s Division of Examinations has issued its examination priorities for 2022, which are in line with recent regulatory initiatives and rulemakings directed at advisers.
April 01, 2022
Tags: BCP, Best Execution, Cybersecurity, Digital Assets, ESG, Examinations, Form CRS, Private Funds, Revenue Sharing, SEC Examinations, Technology, Wrap Fees, Zero Commissions